Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Nov. 28, 2022	Respondents: James K. Couture Release No. 34-96392, IA-6190 File Number: 3-21247
Date: Nov. 22, 2022	Respondents: Goldman Sachs Asset Management, L.P. Release No. IA-6189 File Number: 3-21245
Date: Nov. 22, 2022	Respondents: Securities America Advisors, Inc. Release No. 34-96379 See Also: Amended Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-20381/3-20381.htm Submit Comments on: 3-20381 File Number: 3-20381
Date: Nov. 21, 2022	Respondents: Legal & General Investment Management America, Inc. Release No. IA-6188 See Also: Administrative Summary File Number: 3-21244
Date: Nov. 18, 2022	Respondents: American CryptoFed DAO LLC Release No. 33-11134 File Number: 3-21243
Date: Nov. 18, 2022	Respondents: Daniel Moser Release No. 34-96349, AAER-4367
Date: Nov. 17, 2022	Respondents: Tang, Jason Jianxun, CPA Release No. 34-96347, AAER-4366 File Number: 3-21241
Date: Nov. 17, 2022	Respondents: Centaurus Diamond Technologies, Inc. Release No. 34-96344 File Number: 3-21061
Date: Nov. 17, 2022	Respondents: The American Energy Group, Ltd. Release No. 34-96343 File Number: 3-20995
Date: Nov. 17, 2022	Respondents: Weatherford International Plc, et al. Release No. 34-96340 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Comments received are available: https://www.sec.gov/comments/3-17582/3-17582.htm
Date: Nov. 14, 2022	Respondents: S&P Global Ratings Release No. 34-96308 File Number: 3-21240
Date: Nov. 14, 2022	Respondents: Cozad Asset Management, Inc. Release No. 34-96309 File Number: 3-19752
Date: Nov. 14, 2022	Respondents: Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96310 See Also: Distribution Plan File Number: 3-20030
Date: Nov. 10, 2022	Respondents: Ruiz, Martin A. Release No. IA-6185 File Number: 3-21099, 3-21099
Date: Nov. 10, 2022	Respondents: Chen, Andy Chin Fong, CPA Release No. 33-11133, 34-96299, AAER-4364 File Number: 3-21239
Date: Nov. 9, 2022	Respondents: PIC Renegade Properties, LLC Release No. 33-11132 See Also: Administrative Summary File Number: 3-21238
Date: Nov. 8, 2022	Respondents: Carlos Pingarron Release No. 34-96253
Date: Nov. 8, 2022	Respondents: Carlos Sorondo Release No. 34-96254
Date: Nov. 8, 2022	Respondents: SCF Investment Advisors, Inc. Release No. 34-96255
Date: Nov. 4, 2022	Respondents: Scott David Mahoney Release No. 34-96235, AAER-4363
Date: Nov. 4, 2022	Respondents: Tyler Forbes Release No. 34-96238, IA-6183
Date: Nov. 4, 2022	Respondents: Michael E. Mueller Release No. 34-96243 See Also: Administrative Summary
Date: Nov. 4, 2022	Respondents: Geraci, Paul Release No. 34-96236 File Number: 3-21231
Date: Nov. 4, 2022	Respondents: Assenza, Michael J. a/k/a "Michael Grimaldi" Release No. 34-96240 File Number: 3-21233
Date: Nov. 4, 2022	Respondents: Vandivier, Cindy a/k/a "Madison Brooke or Brookes" Release No. 34-96245 File Number: 3-21235
Date: Nov. 3, 2022	Respondents: Joseph Orazio DeGregorio Release No. 34-96215
Date: Nov. 3, 2022	Respondents: John C. Ahearn Release No. 34-96216
Date: Nov. 3, 2022	Respondents: Kathryn Jane Meredith and John Paul Harnish d/b/a KM Advisory Services Release No. 34-96217, 34-95046, 34-95047, IA-6044, IA-6045
Date: Nov. 3, 2022	Respondents: David B. Mata Release No. IA-6181 File Number: 3-21229
Date: Nov. 3, 2022	Respondents: Horter Investment Management, LLC and Drew K. Horter Release No. IA-6182 File Number: 3-20531, 3-20531
Date: Nov. 2, 2022	Respondents: Guo, Daliang "David" Release No. 34-96207 File Number: 3-21225
Date: Nov. 1, 2022	Respondents: Koppers Holdings Inc. Release No. 33-11129, 34-96193, AAER-4360 See Also: Administrative Summary
Date: Nov. 1, 2022	Respondents: Ma, Joan Congyi "JC" Release No. 34-96203 File Number: 3-21224
Date: Oct. 28, 2022	Respondents: Lin, Yao Release No. 34-96170 File Number: 3-21221
Date: Oct. 26, 2022	Respondents: Bare Metal Standard, Inc. (a/k/a AS Capital, Inc.) Release No. 34-96152 File Number: 3-20716
Date: Oct. 26, 2022	Respondents: Shern, Hung Wai "Howard" Release No. 34-96157 File Number: 3-21220
Date: Oct. 25, 2022	Respondents: Scott A. Woodward, CPA Release No. 34-96153, AAER-4359 See Also: Administrative Summary File Number: 3-21219
Date: Oct. 24, 2022	Respondents: Cronos Group Inc. Release No. 33-11123, 34-96137, AAER-4357
Date: Oct. 24, 2022	Respondents: William Hilson, CPA, CA Release No. 33-11124, 34-96138, AAER-4358
Date: Oct. 24, 2022	Respondents: Ramiro Jose Sugranes Release No. 34-96145, IA-6173
Date: Oct. 24, 2022	Respondents: Lina Maria Garcia Release No. 34-96146, IA-6174
Date: Oct. 21, 2022	Respondents: Mattel, Inc. Release No. 33-11122, 34-96126, AAER-4355
Date: Oct. 21, 2022	Respondents: Abrahams, Joshua, CPA Release No. 34-96127, AAER-4356 File Number: 3-21214
Date: Oct. 20, 2022	Respondents: Perry Douglas West, Esq. Release No. 34-96114 File Number: 3-18968
Date: Oct. 20, 2022	Respondents: Eagle Bancorp, Inc. Release No. 34-96115 File Number: 3-20963
Date: Oct. 19, 2022	Respondents: Tilford, Richard Gregory Release No. 34-96103 File Number: 3-21211
Date: Oct. 19, 2022	Respondents: NewAge, Inc. Release No. 33-11120, 34-96106
Date: Oct. 17, 2022	Respondents: MagnaChip Semiconductor Corporation and Margaret Hye-Ryoung Sakai, CPA, Release No. 34-96095
Date: Oct. 13, 2022	Respondents: Howard Richards Release No. 34-96064 File Number: 3-16877
Date: Oct. 13, 2022	Respondents: Gilberto Lopez Release No. 34-96067
Date: Oct. 13, 2022	Respondents: Badree Komandur, et al. Release No. 34-96071, AAER-4354 File Number: 3-17746
Date: Oct. 13, 2022	Respondents: Charles Parrino Release No. 34-96072 File Number: 3-21210
Date: Oct. 12, 2022	Respondents: Keith Springer Release No. IA-6169 File Number: 3-21208
Date: Oct. 11, 2022	Respondents: Broyles, Daniel Thomas Release No. 34-96025 File Number: 3-21206
Date: Oct. 11, 2022	Respondents: Andrew R. Dougherty Release No. 34-96032, IA-6167 File Number: 3-21207
Date: Oct. 11, 2022	Respondents: Gold Camp Cripple Creek Colorado, Inc. Release No. 34-96033 File Number: 3-21044
Date: Oct. 7, 2022	Respondents: Leroy KIng Release No. 34-96008; IA-6163 File Number: 3-21204
Date: Oct. 7, 2022	Respondents: Surgalign Holdings, Inc. and Robert P. Jordheim Release No. 34-96010 File Number: 3-20945
Date: Oct. 7, 2022	Respondents: Shaun P. Golden Release No. IA-6164 File Number: 3-21205
Date: Oct. 6, 2022	Respondents: Fifth Third Bancorp and Daniel Poston Release No. 34-95988 See Also: Distribution Plan
Date: Oct. 6, 2022	Respondents: John W. Fisher Release No. 34-95989, IA-6159 File Number: 3-21201
Date: Oct. 6, 2022	Respondents: Schwarz, Jason Release No. IA-6160 File Number: 3-21202
Date: Oct. 6, 2022	Respondents: Tyler Ostern Release No. 34-95991 File Number: 3-21203
Date: Oct. 6, 2022	Respondents: Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited Release No. 34-96000 See Also: Proposed Distribution Plan File Number: 3-20030
Date: Oct. 6, 2022	Respondents: Eco Science Solutions, Inc. Release No. 34-96004 File Number: 3-20971
Date: Oct. 5, 2022	Respondents: Fusion Analytics Investment Partners, LLC Release No. IA-6158 File Number: 3-21200
Date: Oct. 5, 2022	Respondents: Michael J. Conte Release No. 34-95983, IA-6157 File Number: 3-21199
Date: Oct. 3, 2022	Respondents: Kimberly Kardashian Release No. 33-11116 File Number: 3-21197
Date: Oct. 3, 2022	Respondents: Paragon Coin, Inc. Release No. 34-95965 See Also: Proposed Distribution Plan Comments Due: 30 days from date of this Notice Submit Comments on: File No.: 3-18897 File Number: 3-18897
Date: Oct. 3, 2022	Respondents: Joel Sanders, Esq. Release No. 34-95966 File Number: 3-21198
Date: Sept. 30, 2022	Respondents: RSM US LLP Release No. 34-95948, AAER-4346
Date: Sept. 30, 2022	Respondents: Steven Kirn, CPA, Michael Piqueira, CPA and Richard Condon, CPA Release No. 34-95949, AAER-4347
Date: Sept. 30, 2022	Respondents: Lisa Sanford Release No. 33-11111, 34-95947, AAER-4345
Date: Sept. 30, 2022	Respondents: Standard Oil Company, Inc. Release No. 33-11112, 34-95950 File Number: 3-21185
Date: Sept. 30, 2022	Respondents: Brian McClure Release No. 33-11113 File Number: 3-21186
Date: Sept. 30, 2022	Respondents: Cemtrex, Inc. and Saagar Govil (Corrected) Release No. 33-11114, 34-95953 File Number: 3-21189
Date: Sept. 30, 2022	Respondents: R. Jacob Steele Release No. 34-95951 File Number: 3-21187
Date: Sept. 30, 2022	Respondents: Anthony G. Roth Release No. 34-95952, AAER-4348 File Number: 3-21188
Date: Sept. 30, 2022	Respondents: David Lee Parrish Release No. 34-95956 File Number: 3-21190
Date: Sept. 30, 2022	Respondents: Kent R. E. Whitney Release No. 34-95957 File Number: 3-21191
Date: Sept. 30, 2022	Respondents: BrookWeiner, et al. Release No. 34-95958, AAER-4349 See Also: Administrative Summary File Number: 3-21192
Date: Sept. 30, 2022	Respondents: Berkower LLC; Michael G. Mullen, CPA; and Maurice Berkower, CPA Release No. 34-95959, AAER-4350 See Also: Administrative Summary File Number: 3-21193
Date: Sept. 30, 2022	Respondents: Joseph Boulos Release No. 34-95960
Date: Sept. 30, 2022	Respondents: Darrell Green Release No. 34-95962 File Number: 3-21195
Date: Sept. 30, 2022	Respondents: Carl V. Dawson, et al. Release No. 33-11115, 34-95963 File Number: 3-21196
Date: Sept. 29, 2022	Respondents: Sean Wygovsky Release No. IA-6155 File Number: 3-21179
Date: Sept. 29, 2022	Respondents: Barclays PLC and Barclays Bank PLC Release No. 33-11110, 34-95944, AAER-4344
Date: Sept. 29, 2022	Respondents: Deloitte Touche Tohmatsu Certified Public Accountants, LLP Release No. 34-95938, AAER-4342
Date: Sept. 29, 2022	Respondents: Miller Energy Resources, Inc. Boyd, Paul W., CPA Hall, David M. Vogt, Carlton W., III, CPA Release No. 34-95941 File Number: 3-16729
Date: Sept. 29, 2022	Respondents: Emerging Opportunities Corp. Release No. 34-95940 File Number: 3-21038
Date: Sept. 29, 2022	Respondents: Aeon Global Health Corp. Release No. 34-95942 File Number: 3-20540
Date: Sept. 29, 2022	Respondents: Tupperware Brands Corporation Release No. 34-95943, AAER-4343 See Also: Administrative Summary
Date: Sept. 28, 2022	Respondents: Anilesh Ahuja Release No. IA-6154 File Number: 3-21175
Date: Sept. 27, 2022	Respondents: Oracle Corporation Release No. 34-95913
Date: Sept. 27, 2022	Respondents: Lee, Christopher Byungin Release No. 34-95914 File Number: 3-21159
Date: Sept. 27, 2022	Respondents: O'Neal, Sean Andrew Release No. 34-95915 File Number: 3-21160
Date: Sept. 27, 2022	Respondents: Raynor, Michael Roy Release No. 34-95916 File Number: 3-21161
Date: Sept. 27, 2022	Respondents: Sobel, Lee Release No. 34-95918 File Number: 3-21162
Date: Sept. 27, 2022	Respondents: Barclays Capital Inc. Release No. 34-95919 See Also: Waiver Order
Date: Sept. 27, 2022	Respondents: Citigroup Global Markets Inc. Release No. 34-95920 See Also: Waiver Order